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Mark Harris Gutman

Samuel A. Ramirez & Company, Inc.

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About Mark Harris Gutman

Mark Gutman is a financial advisor with Samuel A. Ramirez & Company, Inc.. Mark has been in the financial services industry since 1992 and has a wealth of experience in the field. Mark has held positions at several firms, including Oppenheimer & Co. Inc., FHN Financial Securities Corp., and William Blair. Mark holds several licenses and certifications, including Series 6, 7, 63 and SIE. Mark is registered in Illinois.

Firm Information

Mark Gutman is currently registered with Samuel A. Ramirez & Company, Inc.. Samuel A. Ramirez & Company, Inc. is a corporation formed in 1971. It is registered in 51 states and the District of Columbia, as well as with the Securities and Exchange Commission (SEC). The firm has been involved in 6 regulatory events and 2 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

118

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Mark Gutman’s Registration & Firm History

IL

07/10/2024 - Present

Samuel A. Ramirez & Company, Inc. (CHICAGO IL)

IL

11/13/2023 - 07/05/2024

OPPENHEIMER & CO. INC. (CHICAGO IL)

IL

06/12/2019 - 09/26/2023

FHN FINANCIAL SECURITIES CORP. (CHICAGO IL)

IL

02/06/2007 - 05/08/2019

WILLIAM BLAIR (CHICAGO IL)

IL

06/12/2006 - 02/06/2007

NORTH STAR INVESTMENT SERVICES, INC. (CHICAGO IL)

IL

02/07/1994 - 06/21/2006

MESIROW FINANCIAL, INC. (CHICAGO IL)

IL

06/30/1993 - 02/25/1994

YOUNG CAPITAL GROUP (LIMITED PARTNERSHIP) (CHICAGO IL)

IL

11/05/1988 - 10/12/1989

CALAMOS FINANCIAL SERVICES, INC. (NAPERVILLE IL)

NA

02/08/1988 - 10/25/1988

METLIFE SECURITIES INC.

NA

02/08/1988 - 10/25/1988

METROPOLITAN LIFE INSURANCE COMPANY

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Licenses & Designations

BC

Issued 11/11/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/29/1993

Series 7 - General Securities Representative Examination

BC

Issued 02/05/1988

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Mark Harris Gutman. Review regulatory record here.
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